DFX Intelligence

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D•• I••••••••• I•••

Independent wealth managerSEC-registered· Thousand Oaks, Californiawebsite

Independent wealth manager, based in Thousand Oaks, California, reporting $191M of regulatory assets across 2 registered advisors.

Composed from this adviser's Form ADV classification, location and filed figures.

As of 2026-03-30 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $191M
Advisors: 2
Net advisor flow, 12 months: 0
RAUM change, 1 year: +20%
Private clients: 91%

See where advisers went See teams that moved

Advisors (2)Where the RAUM sits

As of 2026-03-30 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

What matters now

+20.1%
RAUM, one year
RAUM $159M to $191M (+20.1%) on the Form ADV filed 30 Mar 2026, while advisors on the filing held at 2.
The one filed measure of whether clients are staying.
FactForm ADV Item 5History →

Every filed figure, and the identifiersCRD 164945 · SEC 801-114702 · 12 filingsShow

CRD 164945SEC 801-114702First filing on the tape Jan 12, 2019, latest Mar 30, 2026SEC status approved since Feb 11, 2019IAPD

RAUM

$191M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

91%

$174M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$95.5M

derived; firm RAUM over IAPD count

Employees

2 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

12 filings and snapshots on the tape

RAUM +0.2% a year over three years · the tape starts Jan 12, 2019

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow

RAUM$191M as of Mar 30, 2026

Mar 17, 2020$174M then

HNW client RAUM$174M as of Mar 30, 2026

Mar 17, 2020$164M then

State-registered IARs (5.B.3)2 as of Mar 30, 2026

Mar 17, 20202 then

Employees (5.A)4 as of Mar 30, 2026

Mar 17, 20204 then

Private funds: no history

RAUM +20% over the last fiscal year+0.2% a year over threeIARs 2 to 2

Practice profile

derived from the filing of Mar 30, 2026; every figure names its basis

Archetypes

The rule behind each archetype, and every derived figure2 rulesShow

Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
Solo or small team · one advisor, or a wealth manager with up to three advisors and one office, and at most 25 employees (Item 5.A)

RAUM per advisor: $95.5MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 47derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $2.1MderivedHNW RAUM over HNW clients
Average account: $575,174derivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 6.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 2.0derivedItem 5.A over advisors
Advisors per office: 2.0derived1 office incl. principal (1.F.5)
RAUM growth, one year: +20%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: +3.3%derived
Compensation: percentage of assets, performance-basedreportedItem 5.E
Advisory activities: portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
Ownership: no PE, bank or public-company owner found on Schedule Aderived
Advisor book size: not public; not estimatedreported

Also answered yes on Form ADV

buys or sells securities as principal to or from clients (8.A.2)
has discretionary authority over which securities are bought or sold (8.C.1)
receives research or other products from a broker-dealer, soft dollars (8.E)

Where the RAUM sits

Form ADV Item 5.D, latest filing

91% high-net-worth individuals, 6.1% pension and profit-sharing plans, and 3 other client types

The breakdown by client type, and the client counts5 client typesShow

High-net-worth individuals$174M91%
Pension and profit-sharing plans$11.6M6.1%
Other investment advisers$4.6M2.4%
Individuals$742,9750.4%
Charitable organizations$253,3950.1%

Individual clients: 12reported
HNW clients: 82reported
Pension plan clients: 7reported
Charitable clients: n/areported
Accounts: 332reported
Financial planning clients: reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, performancereported
Class basis: RAUM: 91% private clients, 2% pooled funds, 6% institutions; no related broker-dealer; no related bankderived

Advisor movement

0 left over 36 months

0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount

Left, latest

none on the tape

Joined, latest

S•••• J• W••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
Jun 4, 2013 · Wirehouse to independent RIA
D•••• R• H••••• from D•• I••••••••• I•••
Oct 10, 2012 · Other

Every departure Every arrival

Advisors registered through the firm

2 on IAPD today; the longest tenured first

Name	Branch	Here since	In industry	Prior firms
D•••• R• H•••••Chartered Financial Analyst	Thousand Oaks, Ca	Oct 10, 2012	20 y	1
S•••• J• W•••	Thousand Oaks, Ca	Jun 4, 2013	27 y	1

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

H•••••• D••••• R• · Presidentcontrol
since 05/2006 · owns 75% or more
W•••••• J••• M• · Chief Compliance Officer
since 08/2018 · owns less than 5%
W•••• S••••• J• · Vice President
since 05/2013 · owns less than 5%

Related persons

Schedule D 7.A

No related person reported.

Office movement

IAPD branch city; joins and departures in 12 months

Office	Advisors	Joined	Left	Teams out	Forming
Thousand Oaks, Ca · principal	2	0	0

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Accounts · 333 to 332
Mar 28, 2025 to Mar 30, 2026
HNW clients · 78 to 82
Mar 28, 2025 to Mar 30, 2026
Individual clients · 13 to 12
Mar 28, 2025 to Mar 30, 2026
Pension plan clients · 11 to 7
Mar 28, 2025 to Mar 30, 2026
Discretionary RAUM · $159M to $191M
Mar 28, 2025 to Mar 30, 2026

Full history · 69 changes

HNW RAUM · $143M to $174M
Mar 28, 2025 to Mar 30, 2026
Individual RAUM · $568,972 to $742,975
Mar 28, 2025 to Mar 30, 2026
Pension RAUM · $11.1M to $11.6M
Mar 28, 2025 to Mar 30, 2026
RAUM · $159M to $191M
Mar 28, 2025 to Mar 30, 2026
Accounts · 323 to 333
Jan 30, 2024 to Mar 28, 2025
HNW clients · 93 to 78
Jan 30, 2024 to Mar 28, 2025
Individual clients · 14 to 13
Jan 30, 2024 to Mar 28, 2025
Pension plan clients · 9 to 11
Jan 30, 2024 to Mar 28, 2025
Financial planning clients · unset to
Jan 30, 2024 to Mar 28, 2025
Discretionary RAUM · $180M to $159M
Jan 30, 2024 to Mar 28, 2025
HNW RAUM · $163M to $143M
Jan 30, 2024 to Mar 28, 2025
Individual RAUM · $1.1M to $568,972
Jan 30, 2024 to Mar 28, 2025
Pension RAUM · $10.1M to $11.1M
Jan 30, 2024 to Mar 28, 2025
RAUM · $180M to $159M
Jan 30, 2024 to Mar 28, 2025
Accounts · 292 to 323
Mar 31, 2023 to Jan 30, 2024
HNW clients · 96 to 93
Mar 31, 2023 to Jan 30, 2024
Individual clients · 6 to 14
Mar 31, 2023 to Jan 30, 2024
HQ city · LOS ANGELES to THOUSAND OAKS
Mar 31, 2023 to Jan 30, 2024
Discretionary RAUM · $190M to $180M
Mar 31, 2023 to Jan 30, 2024
HNW RAUM · $176M to $163M
Mar 31, 2023 to Jan 30, 2024
Individual RAUM · $687,573 to $1.1M
Mar 31, 2023 to Jan 30, 2024
Pension RAUM · $9.6M to $10.1M
Mar 31, 2023 to Jan 30, 2024
RAUM · $190M to $180M
Mar 31, 2023 to Jan 30, 2024
Accounts · 289 to 292
Nov 4, 2022 to Mar 31, 2023
HNW clients · 97 to 96
Nov 4, 2022 to Mar 31, 2023
Pension plan clients · 10 to 9
Nov 4, 2022 to Mar 31, 2023
Discretionary RAUM · $234M to $190M
Nov 4, 2022 to Mar 31, 2023
HNW RAUM · $217M to $176M
Nov 4, 2022 to Mar 31, 2023
Individual RAUM · $770,783 to $687,573
Nov 4, 2022 to Mar 31, 2023
Pension RAUM · $13.6M to $9.6M
Nov 4, 2022 to Mar 31, 2023
RAUM · $234M to $190M
Nov 4, 2022 to Mar 31, 2023
Accounts · 277 to 289
Jun 3, 2021 to Mar 30, 2022
HNW clients · 93 to 97
Jun 3, 2021 to Mar 30, 2022
Discretionary RAUM · $217M to $234M
Jun 3, 2021 to Mar 30, 2022
HNW RAUM · $203M to $217M
Jun 3, 2021 to Mar 30, 2022
Individual RAUM · $122,222 to $770,783
Jun 3, 2021 to Mar 30, 2022
Pension RAUM · $12.5M to $13.6M
Jun 3, 2021 to Mar 30, 2022
RAUM · $217M to $234M
Jun 3, 2021 to Mar 30, 2022
Accounts · 260 to 277
Jun 24, 2020 to Mar 17, 2021
HNW clients · 90 to 93
Jun 24, 2020 to Mar 17, 2021
Individual clients · 9 to 6
Jun 24, 2020 to Mar 17, 2021
Pension plan clients · 8 to 10
Jun 24, 2020 to Mar 17, 2021
Discretionary RAUM · $174M to $217M
Jun 24, 2020 to Mar 17, 2021
HNW RAUM · $164M to $203M
Jun 24, 2020 to Mar 17, 2021
Individual RAUM · $851,664 to $122,222
Jun 24, 2020 to Mar 17, 2021
Pension RAUM · $7.2M to $12.5M
Jun 24, 2020 to Mar 17, 2021
RAUM · $174M to $217M
Jun 24, 2020 to Mar 17, 2021
Accounts · 234 to 260
Apr 24, 2019 to Mar 17, 2020
HNW clients · 61 to 90
Apr 24, 2019 to Mar 17, 2020
Individual clients · 21 to 9
Apr 24, 2019 to Mar 17, 2020
Discretionary RAUM · $149M to $174M
Apr 24, 2019 to Mar 17, 2020
HNW RAUM · $140M to $164M
Apr 24, 2019 to Mar 17, 2020
Individual RAUM · $1.8M to $851,664
Apr 24, 2019 to Mar 17, 2020
Pension RAUM · $6.2M to $7.2M
Apr 24, 2019 to Mar 17, 2020
RAUM · $149M to $174M
Apr 24, 2019 to Mar 17, 2020
Accounts · 225 to 234
Jan 12, 2019 to Apr 24, 2019
HNW clients · 60 to 61
Jan 12, 2019 to Apr 24, 2019
Pension plan clients · 6 to 8
Jan 12, 2019 to Apr 24, 2019
State-registered IARs · 3 to 2
Jan 12, 2019 to Apr 24, 2019
Discretionary RAUM · $127M to $149M
Jan 12, 2019 to Apr 24, 2019
HNW RAUM · $118M to $140M
Jan 12, 2019 to Apr 24, 2019
Individual RAUM · $1.6M to $1.8M
Jan 12, 2019 to Apr 24, 2019
Pension RAUM · $5.4M to $6.2M
Jan 12, 2019 to Apr 24, 2019
RAUM · $127M to $149M
Jan 12, 2019 to Apr 24, 2019

Signals

1 dated events

••• Locked
Jan 12, 2019 · First SEC registration · fact

Across DFX

shared identifiers only, never a name match

No identifier-backed link to the venture, private equity, family office or sponsor graphs.

How to reach

public business contact points only, each with its source

Business phone: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
Website: ••• Lockedreportedpublic record, Form ADV, Mar 30, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Mar 30, 2026
Team page: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026

Provenance

Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show

Form ADV: SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
Advisors: IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
Class: Independent wealth managerderiveda rule over Items 5.D and 7.A
RAUM per advisor: $95.5Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026